A005 Atch 4.xlsx
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- Attached to
- MCLB Albany GA. Warehouse and Distribution Services Federal contract opportunity
- Solicitation number
- SP3300-20-R-5003
- Issued by
- Defense Logistics Agency Distribution
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P2S
| PCM Title | Control # | Control Title | Functional Area | Manual/ | |||||
| Automated | Type | Financial Reporting Objective | Risk of Materiel Misstatement/Risk Mitigated | Control Activity | Contract Reference for Requirement | ||||
| P_P2S_7 Distribution Processes | IC 1 | Off-Load and Tally Performed | Receiving | Manual | ICONO | N/A | Freight arrives at incorrect depot and/or with piece count that does not match shipping documentation. Damaged shipments and/or freight with incorrect piece count are accepted without a TDR being filed. | The Distribution Worker performs the following verifications during off-load and tally and Worker performs a visual inspection of the shipment. If there are discrepancies, such as damage to the materiel, the Distribution Worker will contact supervisory staff for resolution and to begin the Transportation Discrepancy Report (TDR) process if required. |
– Check carrier manifest to ensure the Distribution Center or Disposition Location is the correct shipping destination for the materiel
– Verify piece count delivered with piece count on bill of lading
– Check carrier manifest to ensure that the type of materiel and piece count delivered agree with the freight bill
| If there are discrepancies, the Distribution Worker will contact supervisory staff for resolution and to begin the Transportation Discrepancy Report (TDR) process. | DLA Distribution SOP 4000.01, Receiving - Offload and Tally | ||||||||
| P_P2S_7 Distribution Processes | IC 2 | Accountable and Non-Accountable Materiel Sorted | Receiving | Manual | ICONO | N/A | Non-accountable materiel is mistakenly receipted into stock or accountable materiel is mistakenly transshipped. | The Distribution Worker reviews shipping documents and label to determine if materiel should be inducted into DSS or staged for further conveyance. |
– The Distribution Worker inspects the shipping label of tallied items to verify whether a secondary or “Mark For” address is included on the shipping label.
– Materiel with a secondary or “Mark For” address is not inducted into mission stock in DSS. This materiel is staged for further conveyance.
| – Accountable materiel is addressed to the Distribution Center without a secondary or “Mark For” address. This materiel will be inducted in DSS. | DLA Distribution SOP 4000.01, Receiving - Offload and Tally | ||||||||
| P_P2S_7 Distribution Processes | KC 3 | Kind, Count and Condition Verified | Receiving | Manual | ICOFR | Ensure entered inventory receiving transactions represent economic events that actually occurred and are properly classified (FIAR Guidance, April 2015, Wave 3, FRO 2 (FAM 395B: 1c, 2)). All inventory events that occurred in the current period are entered as transactions in the current period (FIAR Guidance, April 2015, Wave 3, FRO 9 (FAM 395B: 6)). | Risk of Material Misstatement: Inventory does not exist at a given date (FIAR Guidance, April 2015, Wave 3, ROMM 3 (FAM 395B: 4)). Inventory exists but is omitted from the APSR and/or summary schedules (FIAR Guidance, April 2015, Wave 3, ROMM 7 (FAM 395B: 8)). | The Distribution Worker performs a Kind, Count, and Condition (KCC) inspection on materiel by performing the following steps in accordance with DLA Distribution SOP 4000.08: Receiving – Kind, Count, and Condition (KCC): |
– Reconciles the kind of materiel with receiving documents
– Verifies the condition code by visually inspecting the materiel for any damage or defects
| – Counts the materiel and reconciles quantity and unit of issue with receiving documents | DLA Distribution SOP 4000.08, Receiving – Kind, Count and Condition (KCC) | ||||||||
| P_P2S_7 Distribution Processes | IC 4 | NWRM Alert Generated | Receiving | Automated | ICONO | N/A | NWRM that arrives at the Distribution Center is not identified and is receipted into storage. | DSS displays an NWRM alert on the RI05 screen when an NWRM NSN is entered. |
– The alert displays on the RI05 screen:
**** NWRM CONTACT SUPERVISOR/LEAD AND DEPOT COMMAND****
| The Distribution Worker verbally notifies chain of command that NWRM has been received and maintains custody of the materiel until the materiel is handed off to personnel with the appropriate clearance to immediately receipt and secure the materiel in the Classified area IAW NWRM SOP 5200.13. | DLA Distribution SOP 5200.13, Nuclear Weapons Related Material (NWRM) | ||||||||
| P_P2S_7 Distribution Processes | IC 5 | Materiel Weight and Dimensions Verified | Receiving | Manual | ICONO | N/A | Weight and dimensional data for materiel to be stowed are inaccurate, causing inefficient utilization of available storage. | While materiel is in the packaging it will be stored in, the Distribution Worker measures its dimensions and weighs it, then enters weight and dimensions in DSS if required. |
| – If the dimensions or weight are larger than the size programed into DSS, the Distribution Worker updates the weight and dimensions in DSS. If they are smaller, no changes to the weight or dimensions are made. | DLA Distribution SOP 4000.02, Receiving - Wholesale New Procurement Receipt and DLA Distribution SOP 4000.03, Receiving – Non Procurement Receipts | ||||||||
| P_P2S_7 Distribution Processes | KC 6 | Owner RIC Assigned | Receiving | Manual | ICOFR | Ensure inventory is owned by the reporting entity. The reporting entity has rights to inventory at a given date (FIAR Guidance, April 2015, Wave 3, FRO 5 (FAM 395B: 12, 13)). | Inventory is owned by others because of sale, consignment, or other contractual arrangements (FIAR Guidance, April 2015, Wave 3, ROMM 13 (FAM 395B: 12)). | If a pre-positioned materiel receipt (PMR) was transmitted to DSS for the materiel being received, then DSS will assign the owner RIC systemically from the PMR. If there is no PMR, the Distribution Worker will assign the RIC in accordance with the following conditions: |
– Assign owner RIC from the receiving documents if listed
– If there is no owner RIC listed on receiving documents, assign owner RIC and submit a supply discrepancy report (SDR) in accordance with the following DLA Distribution SOPs:
– 4000.02: Receiving – Wholesale New Procurement Receipt
| – 4000.03: Receiving – Non-Procurement Receipts | DLA Distribution SOP 4000.02, Receiving - Wholesale New Procurement Receipt and DLA Distribution SOP 4000.03, Receiving – Non Procurement Receipts | ||||||||
| P_P2S_7 Distribution Processes | IC 7 | Correct Materiel Stowed | Warehousing | Manual | ICONO | N/A | Incorrect Materiel is stowed in a warehouse location | Prior to the physical stow of materiel, the Distribution Worker verifies materiel attributes with the putaway label: |
– National Stock Number (NSN)
– Quantity
| After the above checks are complete, the Distribution Worker stows the materiel into the warehouse location listed on the putaway label. If there are discrepancies with the materiel or location, the Distribution Worker will contact supervisory staff for resolution. If the location is unsuitable, a different location will be assigned | DLA Distribution SOP 4145.02, Warehousing Stow | |||||||||
| P_P2S_7 Distribution Processes | IC 8 | Stow Location Validated | Warehousing | Manual | ICONO | N/A | Materiel is stowed in an incorrect warehouse location | When the Distribution Worker enters a stow into DSS, the system verifies that the stow location is the same location assigned in the receiving process. Once the location is validated, DSS automatically updates the Quantity by Location (QBL). If the location is incorrect, DSS will alert the worker of the incorrect location. If DSS alerts to an incorrect location, the worker shall contact their supervisor for guidance. | DLA Distribution SOP 4145.02, Warehousing Stow | |
| P_P2S_7 Distribution Processes | IC 9 | Correct Materiel Picked | Warehousing | Manual | ICONO | N/A | Incorrect Materiel is picked to fulfill an MRO | The Distribution Worker picks the materiel requisitioned on the MRO. |
Before physically picking the materiel, the Distribution Worker verifies the following materiel attributes of materiel with the pick ticket and its associated Issue Release/Receipt Document, DD Form 1348-1A.
– National Stock Number (NSN)
– Unit of Issue
– Visual Appearance of Materiel Condition
– Quantity
| After the above checks are completed, the Distribution Worker picks the materiel from the warehouse location listed on the pick ticket. If there are discrepancies with the materiel or location, the Distribution Worker will contact supervisory staff for resolution | DLA Distribution SOP 4145.001, Pick | |||||||||
| P_P2S_7 Distribution Processes | IC 10 | Pick Validated | Warehousing | Manual | ICONO | N/A | Materiel is picked from an incorrect warehouse location | DSS is configured to perform an edit/validation check as part of the pick process to ensure the location of the materiel in the DSS Quantity-by-Location (QBL) record matches the location associated with the pick ticket. If the location is incorrect, DSS alerts the user and the pick will not be accepted by the system. If DSS alerts to an incorrect location, the user shall contact their supervisor for guidance. DSS also requires the user to confirm the quantity. User shall confirm quantity when requested. | DLA Distribution SOP 4145.001, Pick | |
| P_P2S_7 Distribution Processes | IC 11 | Pack Verified | Warehousing | Manual | ICONO | N/A | Incorrect materiel is packed for shipment | The Distribution Worker packs the materiel requisitioned on the MRO. |
During the pack process, the Distribution Worker verifies the following materiel attributes of materiel with the Issue Release/Receipt Document, DD Form 1348-1A.
– National Stock Number (NSN)
– Unit of Issue
– Visual Appearance of Materiel Condition
– Quantity
| If there are discrepancies with the materiel, the Distribution Worker will contact supervisory staff for resolution. | DLA Distribution SOP 4145.11, Pack | ||||||||
| P_P2S_7 Distribution Processes | IC 12 | Foreign Military Sales | Warehousing | Manual | ICONO | N/A | Incorrect materiel is packed for shipment to FMS customer | Dual-verification of FMS pack is performed to ensure 100% accuracy of all FMS shipments. The process is as follows: |
– The Distribution Worker performs FMS pack in accordance with DLA Distribution SOP 4145.103 Foreign Military Sales (FMS) Packing.
– The Packer will print initials, User ID and date on two copies of the Issue Release/Receipt Document, DD Form 1348-1A to certify that materiel packed is correct.
– A different Distribution Worker from the Approved Verifier List performs the FMS materiel verification process in accordance with DLA Distribution SOP 4145.103 Foreign Military Sales (FMS) Packing.
– The Verifier will print initials, User ID and date on two copies of the Issue Release/Receipt Document, DD Form 1348-1A to verify that materiel packed is correct. An additional copy of the DD-1348 will be made and retained.
| If there are discrepancies with the materiel, the Distribution Workers will contact supervisory staff for resolution. | DLA Distribution SOP 4145.103, Foreign Military Sales (FMS) Processing | ||||||||
| P_P2S_7 Distribution Processes | IC 13 | Vehicle Load Order Verified | Warehousing | Manual | ICONO | N/A | Incorrect materiel or piece count is loaded onto conveyance | The Distribution Worker verifies materiel with the vehicle load order (VLO) prior to loading onto conveyance. If there are discrepancies with the materiel, the Distribution Worker will contact supervisory staff for resolution. | |
| P_P2S_7 Distribution Processes | KC 15 | Floor-to-Book Counts Performed | Warehousing | Manual | ICONO/ | ||||
| ICOFR | Ensure all existing assets, as of the reporting date, including property in the custody of third parties, are included in the general ledger (FAM 395B: 8). | Assets of the reporting entity exist but are omitted from the APSR and/or summary schedules (financial statement equivalent) (FAM 395B: 8). | The counter assigned to perform F2B counts will receive the Daily F2B Log Sheet from their supervisor and perform the following verifications at each storage location: |
• Location
• NSN
• Quantity
• Visual Appearance of Materiel Condition
• Unit of Issue
| The verifications performed at each location are matched against DSS records. Any storage locations that have quantity discrepancies are forwarded to the Distribution Center Inventory Office for a TPIC M inventory to be scheduled in DSS. | DLA Distribution SOP 4140.27, Completeness Program | |||||||||
| P_P2S_6_Physical Inventory Process | KC 2 | CAV Reviewed | Inventory | Manual | ICOFR | Ensure recorded inventory transactions represent economic events that actually occurred and are properly classified (FIAR Guidance, April 2015, Wave 3, FRO 2 (FAM 395B: 1c, 2)). Ensure all existing inventory, as of the reporting date, including property in the custody of third parties, are included in the general ledger (FIAR Guidance, April 2015, Wave 3, FRO 6 (FAM 395B: 8)). | Recorded inventory do not exist at a given date (FIAR Guidance, April 2015, Wave 3, ROMM 3 (FAM 395B: 4)). Inventory of the reporting entity exist but are omitted from the APSR and/or summary schedules (financial statement equivalent) (FIAR Guidance, April 2015, Wave 3, ROMM 7 (FAM 395B: 8)). | All inventory adjustments that did not meet the threshold levels for causative research on the P-118 Table and did not require an Inventory Adjustment Voucher (IAV) are listed in the Consolidated Adjustment Voucher (CAV) report. On a monthly basis the Reviewing Authority reviews the CAV report for any items that may warrant additional research such as offsetting gains and losses, suspicious items, and/or recurring trends. The Reviewing Authority either approves the voucher listing the adjustments within DSS or reclassifies selected entries as IAVs which will result in Causative Research. The Reviewing Authority will then sign and date the CAV. | DLA Distribution SOP 4140.59, Voucher Management | |
| P_P2S_6_Physical Inventory Process | KC 3 | Causative Research Performed | Inventory | Manual | ICOFR | Ensure all existing inventory, as of the reporting date, including property in the custody of third parties, are included in the general ledger (FIAR Guidance, April 2015, Wave 3, FRO 6 (FAM 395B: 8)). Ensure recorded inventory transactions represent economic events that actually occurred and are properly classified (FIAR Guidance, April 2015, Wave 3, FRO 2 (FAM 395B: 1c, 2)). | Inventory of the reporting entity exists but is omitted from the APSR and/or summary schedules (financial statement equivalent) (FIAR Guidance, April 2015, Wave 3, ROMM 7 (FAM 395B: 8)). Recorded inventory transactions do not represent economic events that actually occurred. (FIAR Guidance, April 2015, Wave 3, ROMM 1 (FAM 395B: 1)). Inventory adjustments subject to further research and verification in accordance with MILSTRAP Chapter 7 regulations may not be properly validated which may result in a misstatement of the Inventory and Related Property on the financial statements. | On a recurring basis, the Inventory Office (IO) performs causative research on inventory adjustments identified for further review in accordance with MILSTRAP Chapter 7 using the Inventory Adjustment Voucher (IAV) generated automatically within DSS. Upon completion of the research, the IO prepares and submits a package for review and approval to a designated authority based on the extended dollar value of the adjustment. The research is a complete review of all transactions (to include supporting source documentation, catalog change actions, and shipment discrepancy files) to be completed within 45 days from the date of the original adjustment. The package is reviewed, signed, and dated by the designated approval authority based on the adjustment amount. | DLA Distribution SOP 4140.52, Causative Research | |
| P_P2S_6_Physical Inventory Process | KC 4 | Open Causative Research List Reviewed | Inventory | Manual | ICOFR | Ensure all existing inventory, as of the reporting date, including property in the custody of third parties, are included in the general ledger (FIAR Guidance, April 2015, Wave 3, FRO 6 (FAM 395B: 8)). | Inventory of the reporting entity exist but are omitted from the APSR and/or summary schedules (financial statement equivalent) (FIAR Guidance, April 2015, Wave 3, ROMM 7 (FAM 395B: 8)). Invalid inventory adjustments may not be reviewed and properly reversed, which may result in a misstatement of the Inventory and Related Property balance on the financial statements. | The Reviewing Authority is required to determine all adjustments have been reviewed for completeness and timeliness by reviewing, approving, and signing on a monthly basis that all Causative Research packages are completed within 45 days. | DLA Distribution SOP 4140.52, Causative Research |
&"-,Bold"&16CDRL A006 Attachment 1, List of Internal Controls
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